They are a temporary
records system that the the Regional/Headquarters
(HQ) Injury Compensation Specialists (ICS) maintain.

Who owns the FWS case
files?

They are the property of the
Department of Labor’s Office of Workers’ Compensation Programs (OWCP). Both
OWCP and the ICS keep a case file. Both sets of files represent a system of
records that remains under OWCP’s jurisdiction.[1]

Why must ICSs maintain
case files at their offices?

U.S. regulations state that
agencies must keep a record of injuries and accidents to their employees
whether or not they result in loss of time or payment of benefits.[2]

What is the benefit of
having case files at the ICS office?

They enable the ICS to
effectively manage claims by allowing him/her to:

Yes, case files are protected
by the Privacy Act and must be secured at all times.

Who can have access to
case files?

Only the ICS and the Bureau
Injury Compensation Program Manager may work with and inspect case files.
Anyone else must contact the OWCP District
Office of jurisdiction to request copies from the original files
maintained there.

In what kind of file system should
ICSs maintain case files?

They should maintain case files in folders
separate from the Employee Medical Folder or Official Personnel Folder.

How long must the material in the case files be maintained?

The OWCP Records Retirement Schedule
requires that the case file material be maintained for 2 years after
case closure.[3]

What should the ICS do with
materials that reach the 2-year cut-off date?

They should archive them in a file system
separate from active files.

When can the ICS destroy or retire case files?

DOL/GOVT-1 requires all case files
pertaining to a claim be destroyed 15 years after the case file has
become inactive resulting in case closure.[4]

Who destroys eligible case files?

The ICS must ensure case files undergo a
thorough review and dispose of the case file materials.

How does the ICS destroy eligible
case files?

A. Those
temporary records ready for destruction, with sensitive information regarding
claimants or their conditions, along with other information not suitable for
public consumption, must be shredded, burned, or permanently erased.

B. Copied
duplicates of originals can be destroyed in house.

C. Some
administrative records and any information that is already public can be
recycled.[5]

Are any materials in case files exempt from destruction?

Yes, original documents
maintained in case files must not be destroyed. These include:

A.
Original CA-1 and CA-2 forms maintained in the file for audit purposes, and

B.
Original wage loss compensation forms, or documents that were faxed to OWCP
for processing when the original was not sent to OWCP.

What does the ICS do with materials
that are exempt from destruction?

They must archive them in a file system
separate from active files. The ICS also can work with OWCP to make
arrangements to transfer them to OWCP.

How does the ICS track case files
that have been destroyed or retired?

The ICS should maintain a log of case files
they destroy or retire. The log should allow him/her to capture enough
pertinent information to show that the case existed and how it was disposed.